Investor Charter

Securities and Exchange Board of India (SEBI)

A Vision and Mission Statements for Investors

Vision: Invest with knowledge & safety.

Mission: Every investor should be able to invest in right investment products based on their needs, manage and monitor them to meet their goals, access reports and enjoy financial wellness.

B Details of Business Transacted by the Research Analyst with Respect to the Investors

To publish research report based on the research activities of the RA
To provide an independent unbiased view on securities.
To offer unbiased recommendation, disclosing the financial interests in recommended securities.
To provide research recommendation, based on analysis of publicly available information and known observations.
To conduct audit annually
To ensure that all advertisements are in adherence to the provisions of the Advertisement Code for Research Analysts.
To maintain records of interactions, with all clients including prospective clients (prior to onboarding), where any conversation related to the research services has taken place.

C Details of Services Provided to Investors

Onboarding of Clients, Sharing of terms and conditions of research services, Completing KYC of fee paying clients
Disclosure to Clients: Material information, business activity, disciplinary history, terms & conditions, associates, risks, conflicts of interest, use of AI tools, etc.
To distribute research reports and recommendations without discrimination.
To maintain confidentiality and respect data privacy rights of clients.
To treat all clients with honesty and integrity.
To provide clear guidance and caution notice for complex/high-risk products.

D Details of Grievance Redressal Mechanism

1. Lodge complaint with Research Analyst: Approach the Research Analyst — redressal within 21 days.

2. Lodge on SCORES / RAASB:

SCORES 2.0: https://scores.sebi.gov.in
Two-level review: RAASB → SEBI

3. SMARTODR Platform: For online conciliation or arbitration if not satisfied.

Physical complaints may be sent to:
Office of Investor Assistance and Education,
Securities and Exchange Board of India,
SEBI Bhavan, Plot No. C4-A, ‘G’ Block,
Bandra-Kurla Complex, Bandra (E), Mumbai – 400 051

E Rights of Investors

Right to Privacy and Confidentiality
Right to Transparent Practices
Right to fair and Equitable Treatment
Right to Adequate Information
Right to Initial and Continuing Disclosure
Right to Fair & True Advertisement
Right to be Heard and Satisfactory Grievance Redressal
Right to Exit from Financial product or service
Right to clear guidance on Complex & High-Risk Products
Additional Rights to vulnerable consumers

F Expectations from the Investors (Responsibilities of Investors)

Do’s

Always deal with SEBI registered Research Analyst.
Check SEBI registration number.
Pay attention to disclosures in research reports.
Pay fees only through banking channels / CeFCoM.
Ask questions and clear doubts before acting.
Provide feedback and exercise right to exit.
Inform SEBI about guaranteed returns offers.

Don’ts

Do not provide funds for investment to the Research Analyst.
Don’t fall prey to luring advertisements or market rumors.
Do not get attracted to discounts, gifts, etc.
Do not share login credentials of trading/demat/bank accounts.

Ms. Nandita Rai
SEBI Registered Research Analyst • INH000018054